SEC Form 4 · accession 0001209191-16-152207
Northern Power Systems Corp. · NPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alexander Ellis III
Director · 10% Owner
Period of report
Nov 28, 2016
Accepted (ET)
Nov 28, 2016 · 5:44 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001605997
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Nov 28, 2016 | A | 30,000 | $0.00 | A | 45,000 | D | |
| Common SharesF2 | holding | — | — | — | 4,892,665 | I | BY ROCKPORT CAPITAL PARTNERS III, LP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Annual grant of restricted common shares under the Northern Power Systems Corp. 2014 Stock Option and Incentive Plan. The shares are fully vested as of the grant date.
- F2Shares are held directly by RockPort Capital Partners III, L.P. Mr. Ellis is a General Partner of RockPort Capital Partners III, L.P., and therefore may be deemed to hold voting and dispositive power over the shares held by RockPort Capital Partners III, L.P. Mr. Ellis disclaims beneficial ownership of the shares held by RockPort Capital Partners III, L.P.